The Case Study as a Research Method.pdf

The Case Study as a Research Method

Uses and Users of Information -- LIS 391D.1 -- Spring 1997

Introduction

Case study research excels at bringing us to an understanding of a complex issue or object and can extendexperience or add strength to what is already known through previous research. Case studies emphasizedetailed contextual analysis of a limited number of events or conditions and their relationships. Researchershave used the case study research method for many years across a variety of disciplines. Social scientists, inparticular, have made wide use of this qualitative research method to examine contemporary real-lifesituations and provide the basis for the application of ideas and extension of methods. Researcher Robert K.Yin defines the case study research method as an empirical inquiry that investigates a contemporaryphenomenon within its real-life context; when the boundaries between phenomenon and context are notclearly evident; and in which multiple sources of evidence are used (Yin, 1984, p. 23).

Critics of the case study method believe that the study of a small number of cases can offer no grounds forestablishing reliability or generality of findings. Others feel that the intense exposure to study of the casebiases the findings. Some dismiss case study research as useful only as an exploratory tool. Yet researcherscontinue to use the case study research method with success in carefully planned and crafted studies ofreal-life situations, issues, and problems. Reports on case studies from many disciplines are widely availablein the literature.

This paper explains how to use the case study method and then applies the method to an example case studyproject designed to examine how one set of users, non-profit organizations, make use of an electroniccommunity network. The study examines the issue of whether or not the electronic community network isbeneficial in some way to non-profit organizations and what those benefits might be.

Many well-known case study researchers such as Robert E. Stake, Helen Simons, and Robert K. Yin havewritten about case study research and suggested techniques for organizing and conducting the researchsuccessfully. This introduction to case study research draws upon their work and proposes six steps thatshould be used:

Determine and define the research questionsSelect the cases and determine data gathering and analysis techniquesPrepare to collect the dataCollect data in the fieldEvaluate and analyze the dataPrepare the report

Step 1. Determine and Define the Research Questions

The first step in case study research is to establish a firm research focus to which the researcher can refer over

The Case Study as a Research Method http://www.gslis.utexas.edu/~ssoy/usesusers/l391d1b.htm

1 of 7 2/6/2013 10:41 PM

the course of study of a complex phenomenon or object. The researcher establishes the focus of the study byforming questions about the situation or problem to be studied and determining a purpose for the study. Theresearch object in a case study is often a program, an entity, a person, or a group of people. Each object islikely to be intricately connected to political, social, historical, and personal issues, providing wide rangingpossibilities for questions and adding complexity to the case study. The researcher investigates the object ofthe case study in depth using a variety of data gathering methods to produce evidence that leads tounderstanding of the case and answers the research questions.

Case study research generally answers one or more questions which begin with "how" or "why." Thequestions are targeted to a limited number of events or conditions and their inter-relationships. To assist intargeting and formulating the questions, researchers conduct a literature review. This review establishes whatresearch has been previously conducted and leads to refined, insightful questions about the problem. Carefuldefinition of the questions at the start pinpoints where to look for evidence and helps determine the methodsof analysis to be used in the study. The literature review, definition of the purpose of the case study, and earlydetermination of the potential audience for the final report guide how the study will be designed, conducted,and publicly reported.

Step 2. Select the Cases and Determine Data Gathering and Analysis Techniques

During the design phase of case study research, the researcher determines what approaches to use in selectingsingle or multiple real-life cases to examine in depth and which instruments and data gathering approaches touse. When using multiple cases, each case is treated as a single case. Each case�s conclusions can then beused as information contributing to the whole study, but each case remains a single case. Exemplary casestudies carefully select cases and carefully examine the choices available from among many research toolsavailable in order to increase the validity of the study. Careful discrimination at the point of selection alsohelps erect boundaries around the case.

The researcher must determine whether to study cases which are unique in some way or cases which areconsidered typical and may also select cases to represent a variety of geographic regions, a variety of sizeparameters, or other parameters. A useful step in the selection process is to repeatedly refer back to thepurpose of the study in order to focus attention on where to look for cases and evidence that will satisfy thepurpose of the study and answer the research questions posed. Selecting multiple or single cases is a keyelement, but a case study can include more than one unit of embedded analysis. For example, a case studymay involve study of a single industry and a firm participating in that industry. This type of case studyinvolves two levels of analysis and increases the complexity and amount of data to be gathered and analyzed.

A key strength of the case study method involves using multiple sources and techniques in the data gatheringprocess. The researcher determines in advance what evidence to gather and what analysis techniques to usewith the data to answer the research questions. Data gathered is normally largely qualitative, but it may alsobe quantitative. Tools to collect data can include surveys, interviews, documentation review, observation, andeven the collection of physical artifacts.

The researcher must use the designated data gathering tools systematically and properly in collecting theevidence. Throughout the design phase, researchers must ensure that the study is well constructed to ensureconstruct validity, internal validity, external validity, and reliability. Construct validity requires the researcherto use the correct measures for the concepts being studied. Internal validity (especially important withexplanatory or causal studies) demonstrates that certain conditions lead to other conditions and requires theuse of multiple pieces of evidence from multiple sources to uncover convergent lines of inquiry. Theresearcher strives to establish a chain of evidence forward and backward. External validity reflects whether or


2 of 7 2/6/2013 10:41 PM

not findings are generalizable beyond the immediate case or cases; the more variations in places, people, andprocedures a case study can withstand and still yield the same findings, the more external validity.Techniques such as cross-case examination and within-case examination along with literature review helpsensure external validity. Reliability refers to the stability, accuracy, and precision of measurement. Exemplarycase study design ensures that the procedures used are well documented and can be repeated with the sameresults over and over again.

Step 3. Prepare to Collect the Data

Because case study research generates a large amount of data from multiple sources, systematic organizationof the data is important to prevent the researcher from becoming overwhelmed by the amount of data and toprevent the researcher from losing sight of the original research purpose and questions. Advance preparationassists in handling large amounts of data in a documented and systematic fashion. Researchers preparedatabases to assist with categorizing, sorting, storing, and retrieving data for analysis.

Exemplary case studies prepare good training programs for investigators, establish clear protocols andprocedures in advance of investigator field work, and conduct a pilot study in advance of moving into thefield in order to remove obvious barriers and problems. The investigator training program covers the basicconcepts of the study, terminology, processes, and methods, and teaches investigators how to properly applythe techniques being used in the study. The program also trains investigators to understand how the gatheringof data using multiple techniques strengthens the study by providing opportunities for triangulation duringthe analysis phase of the study. The program covers protocols for case study research, including timedeadlines, formats for narrative reporting and field notes, guidelines for collection of documents, andguidelines for field procedures to be used. Investigators need to be good listeners who can hear exactly thewords being used by those interviewed. Qualifications for investigators also include being able to ask goodquestions and interpret answers. Good investigators review documents looking for facts, but also readbetween the lines and pursue collaborative evidence elsewhere when that seems appropriate. Investigatorsneed to be flexible in real-life situations and not feel threatened by unexpected change, missed appointments,or lack of office space. Investigators need to understand the purpose of the study and grasp the issues andmust be open to contrary findings. Investigators must also be aware that they are going into the world of realhuman beings who may be threatened or unsure of what the case study will bring.

After investigators are trained, the final advance preparation step is to select a pilot site and conduct a pilottest using each data gathering method so that problematic areas can be uncovered and corrected. Researchersneed to anticipate key problems and events, identify key people, prepare letters of introduction, establishrules for confidentiality, and actively seek opportunities to revisit and revise the research design in order toaddress and add to the original set of research questions.

4. Collect Data in the Field

The researcher must collect and store multiple sources of evidence comprehensively and systematically, informats that can be referenced and sorted so that converging lines of inquiry and patterns can be uncovered.Researchers carefully observe the object of the case study and identify causal factors associated with theobserved phenomenon. Renegotiation of arrangements with the objects of the study or addition of questionsto interviews may be necessary as the study progresses. Case study research is flexible, but when changes aremade, they are documented systematically.

Exemplary case studies use field notes and databases to categorize and reference data so that it is readilyavailable for subsequent reinterpretation. Field notes record feelings and intuitive hunches, pose questions,


3 of 7 2/6/2013 10:41 PM

and document the work in progress. They record testimonies, stories, and illustrations which can be used inlater reports. They may warn of impending bias because of the detailed exposure of the client to specialattention, or give an early signal that a pattern is emerging. They assist in determining whether or not theinquiry needs to be reformulated or redefined based on what is being observed. Field notes should be keptseparate from the data being collected and stored for analysis.

Maintaining the relationship between the issue and the evidence is mandatory. The researcher may enter somedata into a database and physically store other data, but the researcher documents, classifies, and cross-references all evidence so that it can be efficiently recalled for sorting and examination over the course of thestudy.

Step 5. Evaluate and Analyze the Data

The researcher examines raw data using many interpretations in order to find linkages between the researchobject and the outcomes with reference to the original research questions. Throughout the evaluation andanalysis process, the researcher remains open to new opportunities and insights. The case study method, withits use of multiple data collection methods and analysis techniques, provides researchers with opportunities totriangulate data in order to strengthen the research findings and conclusions.

The tactics used in analysis force researchers to move beyond initial impressions to improve the likelihood ofaccurate and reliable findings. Exemplary case studies will deliberately sort the data in many different waysto expose or create new insights and will deliberately look for conflicting data to disconfirm the analysis.Researchers categorize, tabulate, and recombine data to address the initial propositions or purpose of thestudy, and conduct cross-checks of facts and discrepancies in accounts. Focused, short, repeat interviews maybe necessary to gather additional data to verify key observations or check a fact.

Specific techniques include placing information into arrays, creating matrices of categories, creating flowcharts or other displays, and tabulating frequency of events. Researchers use the quantitative data that hasbeen collected to corroborate and support the qualitative data which is most useful for understanding therationale or theory underlying relationships. Another technique is to use multiple investigators to gain theadvantage provided when a variety of perspectives and insights examine the data and the patterns. When themultiple observations converge, confidence in the findings increases. Conflicting perceptions, on the otherhand, cause the researchers to pry more deeply.

Another technique, the cross-case search for patterns, keeps investigators from reaching prematureconclusions by requiring that investigators look at the data in many different ways. Cross-case analysisdivides the data by type across all cases investigated. One researcher then examines the data of that typethoroughly. When a pattern from one data type is corroborated by the evidence from another, the finding isstronger. When evidence conflicts, deeper probing of the differences is necessary to identify the cause orsource of conflict. In all cases, the researcher treats the evidence fairly to produce analytic conclusionsanswering the original "how" and "why" research questions.

Step 6. Prepare the report

Exemplary case studies report the data in a way that transforms a complex issue into one that can beunderstood, allowing the reader to question and examine the study and reach an understanding independent ofthe researcher. The goal of the written report is to portray a complex problem in a way that conveys avicarious experience to the reader. Case studies present data in very publicly accessible ways and may leadthe reader to apply the experience in his or her own real-life situation. Researchers pay particular attention to


4 of 7 2/6/2013 10:41 PM

displaying sufficient evidence to gain the reader�s confidence that all avenues have been explored, clearlycommunicating the boundaries of the case, and giving special attention to conflicting propositions.

Techniques for composing the report can include handling each case as a separate chapter or treating the caseas a chronological recounting. Some researchers report the case study as a story. During the reportpreparation process, researchers critically examine the document looking for ways the report is incomplete.The researcher uses representative audience groups to review and comment on the draft document. Based onthe comments, the researcher rewrites and makes revisions. Some case study researchers suggest that thedocument review audience include a journalist and some suggest that the documents should be reviewed bythe participants in the study.

Applying the Case Study Method to an Electronic Community Network

By way of example, we apply these six steps to an example study of multiple participants in an electroniccommunity network. All participants are non-profit organizations which have chosen an electroniccommunity network on the World Wide Web as a method of delivering information to the public. The casestudy method is applicable to this set of users because it can be used to examine the issue of whether or notthe electronic community network is beneficial in some way to the organization and what those benefitsmight be.

Step 1. Determine and Define the Research Questions

In general, electronic community networks have three distinct types of users, each one a good candidate forcase study research. The three groups of users include people around the world who use the electroniccommunity network, the non-profit organizations using the electronic community network to provideinformation to potential users of their services, and the "community" that forms as the result of interactingwith other participants on the electronic community network.

In this case, the researcher is primarily interested in determining whether or not the electronic communitynetwork is beneficial in some way to non-profit organization participants. The researcher begins with areview of the literature to determine what prior studies have determined about this issue and uses theliterature to define the following questions for the study of the non-profit organizations providing informationto the electronic community network:

Why do non-profit organization participants use the network?

How do non-profit organization participants determine what to place on the electronic community network?

Do the non-profit organization participants believe the community network serves a useful purpose infurthering their mission? How?

Step 2. Select the Cases and Determine Data Gathering and Analysis Techniques

Many communities have constructed electronic community networks on the World Wide Web. At the outsetof the design phase, the researcher determines that only one of these networks will be studied and further setsthe study boundaries to include only some of the non-profit organizations represented on that one network.The researcher contacts the Board of Directors of the community network, who are open to the idea of thecase study. The researcher also gathers computer generated log data from the network and, using this data,determines that an in-depth study of representative organizations from four categories -- health care,


5 of 7 2/6/2013 10:41 PM

environmental, education, and religious -- is feasible. The investigator applies additional selection criteria sothat an urban-based and a rural-based non-profit are represented in the study in order to examine whetherurban non-profits perceive more benefits from community networks than rural organizations.

The researcher considers multiple sources of data for this study and selects document examination, thegathering and study of organizational documents such as administrative reports, agendas, letters, minutes, andnews clippings for each of the organizations. In this case, the investigator decides to also conduct open-endedinterviews with key members of each organization using a check-list to guide interviewers during theinterview process so that uniformity and consistency can be assured in the data, which could include facts,opinions, and unexpected insights. In this case study, the researcher cannot employ direct observation as atool because some of the organizations involved have no office and meet infrequently to conduct businessdirectly related to the electronic community network. The researcher instead decides to survey all Boardmembers of the selected organizations using a questionnaire as a third data gathering tool. Within-case andcross-case analysis of data are selected as analysis techniques.

Step 3. Prepare to Collect the Data

The researcher prepares to collect data by first contacting each organization to be studied to gain theircooperation, explain the purpose of the study, and assemble key contact information. Since data to becollected and examined includes organizational documents, the researcher states his intent to request copiesof these documents, and plans for storage, classification, and retrieval of these items, as well as the interviewand survey data. The researcher develops a formal investigator training program to include seminar topics onnon-profit organizations and their structures in each of the four categories selected for this study. The trainingprogram also includes practice sessions in conducting open-ended interviews and documenting sources,suggested field notes formats, and a detailed explanation of the purpose of the case study. The researcherselects a fifth case as a pilot case, and the investigators apply the data gathering tools to the pilot case todetermine whether the planned timeline is feasible and whether or not the interview and survey questions areappropriate and effective. Based on the results of the pilot, the researcher makes adjustments and assignsinvestigators particular cases which become their area of expertise in the evaluation and analysis of the data.

Step 4. Collect Data in the Field

Investigators first arrange to visit with the Board of Directors of each non-profit organization as a group andask for copies of the organization�s mission, news clippings, brochures, and any other written materialdescribing the organization and its purpose. The investigator reviews the purpose of the study with the entireBoard, schedules individual interview times with as many Board members as can cooperate, confirms keycontact data, and requests that all Board members respond to the written survey which will be mailed later.

Investigators take written notes during the interview and record field notes after the interview is completed.The interviews, although open-ended, are structured around the research questions defined at the start of thecase study.

Research Question: Why do non-profit organization participants use the network?

Interview Questions: How did the organization make the decision to place data on the World Wide Webcommunity network? What need was the organization hoping to fulfill?

Research Question: How do non-profit organization participants determine what to place on theelectronic community network?


6 of 7 2/6/2013 10:41 PM

Interview Questions: What process was used to select the information that would be used on the network?How is the information kept up to date?

Research Question: Do the non-profit organization participants believe the community network servesa useful purpose in furthering their mission? How?

Interview Questions: How does the organization know if the electronic community network is beneficial tothe organization? How does the electronic community network further the mission of the organization? Whatsystematic tracking mechanisms exist to determine how many or what types of users are accessing theorganization information?

The investigator�s field notes record impressions and questions that might assist with the interpretation ofthe interview data. The investigator makes note of stories told during open-ended interviews and flags themfor potential use in the final report. Data is entered into the database.

The researcher mails written surveys to all Board members with a requested return date and a stamped returnenvelope. Once the surveys are returned, the researcher codes and enters the data into the database so that itcan be used independently as well as integrated when the case study progresses to the point of cross-caseexamination of data for all four cases.

Step 5. Evaluate and Analyze the Data

Within-case analysis is the first analysis technique used with each non-profit organization under study. Theassigned investigator studies each organization�s written documentation and survey response data as aseparate case to identify unique patterns within the data for that single organization. Individual investigatorsprepare detailed case study write-ups for each organization, categorizing interview questions and answers andexamining the data for within-group similarities and differences.

Cross-case analysis follows. Investigators examine pairs of cases, categorizing the similarities and differencesin each pair. Investigators then examine similar pairs for differences, and dissimilar pairs for similarities. Aspatterns begin to emerge, certain evidence may stand out as being in conflict with the patterns. In those cases,t


7 of 7 2/6/2013 10:41 PM

The Case Study as a Research Method.pdf

Documents

Transcript of The Case Study as a Research Method.pdf